ANIMAL FACILITY IMPROVEMENT FOR SMALL RESEARCH PROGRAMS
NIH GUIDE, Volume 23, Number 27, July 22, 1994
PA NUMBER: PAR-94-084
P.T. 34
Keywords:
Animal Breed. & Facil., Scientific
National Center for Research Resources
Application Receipt Dates: October 1, February 1, June 1
PURPOSE
The National Center for Research Resources (NCRR) encourages the
submission of individual animal resource improvement grant applications
from small biomedical research institutions. The major objectives of
this program are to upgrade animal facilities, develop administratively
centralized programs of animal care, and enable institutions to comply
with the USDA Animal Welfare Act and DHHS policies related to the care
and use of laboratory animals. These awards do not require matching
funds from the awardee institution. Support is limited to alterations
and renovations (A&R) to improve laboratory animal facilities, and the
purchase of major equipment items for animal resource, diagnostic
laboratory, transgenic animal resources, or similar associated
activities.
ELIGIBILITY REQUIREMENTS
Any domestic public or private institution, organization, or
association is eligible to apply for this grant if it meets the
following two requirements: (1) The institution must have one or more
research projects supported by the PHS that involve the use of
laboratory animals, and (2) The institution must have received less
than $1,500,000 (direct costs) of PHS support for research projects
during the most recently completed Federal fiscal year.
Institutions and commercial firms providing only services or products
and without a clearly defined animal related research component are not
eligible to apply. Also, this program will not support requests for
equipment used for teaching purposes and for housing non-research
animals. Applications from other Federal agencies or institutions
(e.g., Department of Veterans Affairs) are limited to requests for
equipment only. Applicants may not submit more than one application or
apply for other NCRR support for developing and improving institutional
animal resources in the same Federal fiscal year.
For purposes of these guidelines, an "institution" is defined as the
organizational component identified on page 1, item 14, of the form PHS
398 (rev. 9/91), for which descriptive information is provided on page
15 in the grant application form PHS 398 kit. Separate applications
may be submitted from different colleges or schools on the same campus
of a university within the same Federal fiscal year if they have
different organizational component codes. If this is done,
documentation from an appropriate institutional official, stating that
the applications are part of a coordinated, campus-wide plan to improve
the animal facilities, must be provided. The applicant institution is
strongly encouraged to develop a single application for a campus-wide
program with a single, centralized animal care program whenever
possible or feasible.
MECHANISM OF SUPPORT
The mechanism available for the support of improvement projects is the
Grant for Repair, Renovation, and Modernization of Existing Research
Facilities (G20). The total budget request for the improvement grant
application and award is limited to $300,000 (direct costs), of which
not more than $200,000 may be used for alterations and renovations.
Matching funds are not required. Because the nature and scope of the
projects proposed in response to this PA may vary, it is anticipated
that the size of an award will vary also.
Allowable Costs
Items that may be requested under this grant mechanism include:
o A&R to improve existing laboratory animal facilities, and allowable
fees associated with the A&R project
o Major resource equipment related to the improvement project, such as
animal cage systems and cage washers
o Equipment items, or an aggregate of identical equipment items, that
have a total cost of at least $1,000. Items that are part of a system
and require the purchase of small component parts (e.g., a rack and
cages or microisolator units) may be requested and priced as a single
item. A description of the individual components of such systems must
be provided.
o General purpose equipment items for centralized surgeries,
diagnostic laboratories, transgenic animal facilities, and other
similar associated activities when an integral part of the animal
facility and available to all investigators
o Basic diagnostic equipment (e.g., microscopes, centrifuges,
refrigerators, etc.) to be used in support of the animal facility, but
not for research
o Environmental monitoring systems. However, if such a system has
multiple uses (e.g., the monitoring of research data or security), only
those costs related to monitoring or providing for animal care (e.g.,
environmental monitoring) are allowable
Improvement grants are not intended to provide support for:
o General operational support for the resource (e.g., funding for
personnel, consumable supplies for routine animal care, or small
equipment items)
o Specialized research equipment or facilities for use by only a few
investigators
o New construction, including the completion of shell space
o Equipment intended for teaching or non-research purposes
o Office and research equipment, computers or data processing items
o Physical security systems
RESEARCH OBJECTIVES
Animal resource improvement grants are awarded to assist biomedical
research institutions in upgrading animal facilities and developing
administratively centralized and uniformly effective programs of
research animal care. Another major objective is to assist
institutions in complying, and maintaining compliance, with provisions
of the Animal Welfare Act and PHS policies related to the care and use
of laboratory animals.
APPLICATION PROCEDURES
Applications are to be submitted on form PHS 398 (rev. 9/91).
Application forms may be obtained from the institution's office of
sponsored research and from the Office of Grants Information, Division
of Research Grants, National Institutes of Health, Westwood Building,
Room 449, Bethesda, MD 20892, telephone (301) 435-0714. There are
three regular receipt dates per year of October 1, February 1, and June
1.
Prospective applicants are encouraged to review the PHS Grants Policy
Statement (rev. 4/94) sections dealing with alterations and renovations
and equipment prior to completing the PHS 398 form.
Applications must follow the instructions provided in the form PHS 398
kit, except for the following:
Form Page 1:
Item 2a - Check the box marked "YES" and type in the number and title
of the program announcement.
Item 2b - Insert "G20"
Item 5 - Check the box marked "No" at Item 5a. Item 5b - Not
applicable.
Form Page 2:
Personnel - Only key personnel should be listed here even though salary
support is not requested. This must include the chief or consulting
veterinarian.
Form Page 4: Detailed Budget for Initial Budget Period
Personnel Category - List only key individuals; salary support should
not be requested.
The total cost of the equipment and A&R needed should be entered in the
rectangular space under the appropriate headings on the left.
Equipment should be classified as movable or fixed, using the
institution's own classification guidelines. Fixed equipment is
considered as part of the A&R request. The right hand column should
reflect only the PHS request. The Total Direct Costs (bottom right
hand column total) should be the total request to the PHS. The total
request for PHS support may not exceed $300,000. Of this total, the
A&R request may not exceed $200,000.
Form Page 5 - Budget for Entire Proposed Project Period - Not
applicable (do not complete this section).
A cost estimate should be provided, and placed between Form Page 4.
This estimate should detail:
1. For movable equipment, the dollar request from NIH, amount to be
funded from other sources, and total cost.
2. For eligible A&R costs, the dollar request from NIH, amount to be
funded from other sources, and total cost.
3. For total project cost, the dollar request from NIH, amount to be
funded from other sources, and total cost.
For funding from other sources, please indicate the source(s).
For alterations and renovations requests, list separately the projected
costs of: (a) Demolition; (b) General; (c) Plumbing; (d) HVAC; (e)
Electrical; (f) Architect/Engineer Fee; (g) Other Costs (Specify); and
(h) Fixed Equipment, with the total eligible A&R costs listed. If
multiple sites are involved, the A&R and cost estimates should be
described separately for each site. List the total net square feet of
floor space to be renovated and the estimated cost per net sq. ft.,
excluding fixed equipment.
Additional Form Pages
Biographical Sketch Page - Provide a biographical sketch for all key
personnel, strictly adhering to the 2 page limitation for each.
Other Support Page - Provide the information requested for all key
personnel.
Specific Instructions - Research Plan
The following instructions should be used in lieu of the PHS 398
instructions for this section of the application. The Research Plan
section of the application (Items 1-4) must strictly adhere to a limit
of 25 pages. The outline suggested below should be followed in
describing the program. All information critical to the review must be
in the Research Plan, not in an appendix.
1. Specific Aims - Clearly present the aims of the animal resource
improvement project and relate them to the short- and long-term goals
of the institution's animal resource program.
2. Background and Significance - This section should address two
areas: the overall animal care and use program and the significance of
the proposed resource improvement project.
Background
Provide an overall description of the institution's animal care and use
program. Provide relevant background information and describe the
current status of the institution's animal resource facilities and
program as they relate to biomedical research and research training.
Describe the institution's overall involvement in animal-related
research. This section should include a description of the following
aspects of the animal resource:
a. Administrative arrangements and structure of the animal resource.
The lines of authority and responsibility for administering the
institution's animal care and use program should be clearly presented.
The role and composition of the IACUC and how compliance with relevant
laws, policies, and guidelines is achieved should be included.
b. Animal care procedures and the animal health program. This section
should describe housing, caging, feeding, record keeping, sanitation,
and other animal care practices; animal health program which includes
clinical services, laboratory support, preventive medicine programs,
and any relevant specialized procedures; veterinary oversight; vendor
surveillance; conditioning programs; colony and environmental
monitoring; and diagnostic capabilities in anatomic pathology, clinical
chemistry, hematology, and microbiology. Data should be provided to
characterize the extent of these activities, such as numbers of
laboratory procedures for monitoring animal health, veterinary
inspections for animal health, etc. If specialized equipment items are
requested, the husbandry program to utilize this equipment should be
outlined.
c. Staffing. Outline the total staff and organization of the animal
resource, both currently in place and as planned following the
requested improvements. Briefly describe the qualifications of the
animal care staff and the training opportunities available to them.
d. Animal Program Data. Indicate the number of animals (by species)
used or produced per year and the average daily census (by species) for
each facility. Provide a brief description of all on-campus and
off-campus animal facilities, including sites where experimental
surgery is performed. Indicate who manages each facility. Indicate
whether the institution is AAALAC accredited. If equipment is
requested for surgical or diagnostic facilities, the case load,
species, types and numbers of surgeries or diagnostic tests must be
documented.
e. Animal Program Funding. Provide, for the most recently completed
Federal fiscal year (indicate year): (1) the institution's total annual
PHS funding (direct costs) for research, both animal related and
non-animal related; (2) the institution's total number and total direct
costs of research projects using laboratory animals, indicating
separately the number and costs of those funded from PHS and non-PHS
sources; (3) for facilities for which improvement support is requested,
list by facility name the number of research projects and total direct
costs of the projects relevant to each.
List all current financial support for the animal resource, including
sources and amounts (e.g., recharge, core funding from the institution,
etc.) and the annual operating budget (listed by major categories).
Provide a copy of per diem and service charge schedules and indicate
their method of determination (this information may be included in an
Appendix).
f. Previous and Future Improvements. Expenditures for capital
improvements (facilities and equipment) during the past five years and
future plans for meeting such needs should be described. Any previous
support for improvement of the institution's animal facilities from the
CMP, NCRR, NIH should be noted. The use of this support and its impact
on the animal care program should be briefly described.
g. Program Needs. List deficiencies in the animal care program which
have been cited by the American Association for Accreditation of
Laboratory Animal Care (AAALAC), the Institutional Animal Care and Use
Committee (IACUC) facility review reports, and the institution's PHS
Animal Welfare Assurance Statement. Any problems in meeting the
provisions of the Animal Welfare Act should also be addressed.
Significance
Describe the significance of the proposed resource improvement project
to the institution's overall biomedical research programs, as well as
to specific research projects that will be affected. If the resource
will be used by a relatively small number of research projects, a brief
description of those projects, including the source and amount of
funding (direct costs) for the most recently completed Federal fiscal
year should be indicated. If appropriate, the application should
demonstrate both the need for the requested items and a sound plan for
obtaining or maintaining the entire animal resource at required
standards.
3. Progress Report/Preliminary Studies - Not applicable.
4. Research Design and Methods
Describe the improvement project and how the requested improvements
will accomplish the goals described in the Specific Aims section above.
It is important to describe how the requested improvements will correct
the deficiencies and problems described in the Background section.
Demonstrate how the proposed facility improvement program fits into the
institution's overall plan to meet or maintain PHS standards for animal
care and use. If the project is part of an overall (larger) facility
improvement plan, the application should describe the larger plan and
how the project fits into that plan.
Describe and provide detailed justifications for the requested
equipment items. The manufacturer, model number, size, capacity, or
design criteria, total unit cost and facility where it will be used
should be included. Requests for surgical equipment must be justified
by listing the number of investigators and PHS grant support received
(can be provided in tabular form), the case load, and the types of
surgical procedures performed. Failure to adequately justify each
requested item will likely result in its deletion from the recommended
budget.
For any proposed A&R, a narrative summary (as outlined below), line
drawings, and cost estimates must be provided. The following format is
suggested:
Narrative Summary
(1) Relate the proposed renovations to projected animal populations (by
species) and research projects that will use the facility; (2) List the
functional components, including the size (dimensions) and square
footage of each component (room, alcove, cubicle, etc.) that will be
directly affected by the renovation project; (3) List engineering
criteria applicable to each component (mechanical, electrical, and
utilities). Include information such as the number of air changes per
hour, electrical power, light levels, hot and cold water, steam, etc.;
(4) List appropriate architectural criteria, such as width of corridors
and doors, surface finishes, etc.; (5) List all fixed equipment items
requested for the renovated area; and (6) List all movable equipment
items requested for the renovated area.
Line Drawings
(1) Submit line drawings on 8-1/2" x 11" paper only. (DO NOT SUBMIT
BLUEPRINTS). These drawings will not be counted against the 25 page
limit. All floor plans must be legible, with the scale clearly
indicated.
(2) The line drawings of the proposed renovation must be at a scale
adequate to explain the project. The drawings should indicate size
(dimensions), function, and net and gross square feet of space for each
room. The total net and gross square feet of space to be renovated
should also be given.
(3) The plan should indicate the location of the proposed renovation
area in the building.
(4) Include the as-built drawings of the proposed renovation area and
indicate any areas which will be demolished.
(5) Changes or additions to existing mechanical and electrical systems
should be clearly described in notes made directly on the plan or
attached to the plan.
(6) Indicate the type(s) of new finishes to be applied to room
surfaces.
Cost Estimates
Detailed cost estimates must be included.
The completed original application (signed original including
appendices, if any) and three exact photocopies of the signed
application must be submitted to:
Division of Research Grants
National Institutes of Health
Westwood Building, Room 240
Bethesda, MD 20892-4500*
At the time of submission, two additional copies of the application
(with appendices, if any) must be sent under separate cover to:
Scientific Review Administrator
Comparative Medicine Review Committee
National Center for Research Resources
Westwood Building, Room 10A16
Bethesda, MD 20892-4500*
REVIEW CONSIDERATIONS
All applications will be reviewed for scientific and technical merit by
an appropriate review committee managed by the Office of Review, NCRR.
Second level review will be provided by the National Advisory Research
Resources Council (NARRC). Review of the applications will be based on
scientific merit, technical soundness, and cost effectiveness.
Factors considered in the appraisal of an animal resource improvement
project include:
A. The Improvement Request
1. Need - The application should show how this grant support will help
the institution meet or maintain standards of the Animal Welfare Act
and PHS policies concerning the care and use of laboratory animals.
The amount(s) and source(s) of funding for animal-related biomedical
research which use the resource will be considered.
2. Scope of Institutional Planning - The institutional plan to assure
a comprehensive and acceptable animal care and use program will be
evaluated.
3. Budget - The budget will be evaluated in relationship to the
application's responsiveness to these guidelines, justification
provided for each of the requested items, cost effectiveness, and the
institution's perceived commitment to the animal care program.
4. Animal Welfare - The extent to which the project will enhance the
welfare of animals maintained in the facility to be improved will be
evaluated. The benefit of the improvements to the welfare of animals
in the facility, including advances in the humane treatment of the
animals due to husbandry changes allowed by the improvements, will be
assessed.
5. Design Considerations - The proposed project will be judged for
technical soundness, appropriateness and suitability of the proposed
renovation/project, and ability of the project to correct existing
deficiencies.
B. The Animal Care Program
The scope of the animal care and use program to be enhanced by this
facility improvement request should be carefully defined. For the
purpose of this application, the animal care program should cover the
entire applicant institution.
1. Animal Care - The quality of the animal husbandry program at the
applicant institution will be assessed. The application should
demonstrate that animals at all facilities of the institution will
receive uniform, high-quality animal care.
2. Personnel - The technical and professional staff will be evaluated.
The institution should have a sufficient number of professional staff
with appropriate qualifications and experience to operate the animal
resource in a competent manner. The facility should also have
qualified non- professional staff and supporting services.
3. Administrative Arrangements - An evaluation will be made of the
administrative arrangements for routine management of the animal
resource. The institution should have a record of commitment and a
sound plan for financial support of the resource, through a recharge
system, per diem charges, institutional support, etc.
4. Resources and Environment - The suitability of the institutional
setting for achieving the goals of the program will be considered.
This will include an appraisal of the academic environment and the
support for the animal resource by the administration and faculty.
AWARD CRITERIA
Applications will compete with all others in the G20 category for
available funds. An institution must have current PHS funding for
research involving laboratory animals to be eligible for an award. The
following will also be considered when making funding decisions:
o Quality of the proposed project as determined by peer review
o Availability of funds
Evidence of continued PHS research funding will be verified prior to
award.
Award Conditions
Following the actual award, funds for A&R will not be released until
final architectural drawings, specifications, and updated cost
estimates are approved by NCRR. No requests to initiate alterations or
renovations will be entertained prior to receipt of the grant award
from NIH and subsequent approval of working drawings and specifications
by NIH staff. Renovations and equipment purchases must be initiated no
later than twelve months after the start date of award. Awards will be
made for one year and are not renewable.
INQUIRIES
Inquiries about the program are to be directed to:
Director, Laboratory Animal Sciences Program
Comparative Medicine Program
National Center for Research Resources
Westwood Building, Room 857
Bethesda, MD 20892-4500
Telephone: (301) 594-7933
Questions regarding fiscal matters are to be directed to:
Mr. Paul Karadbil
Office of Grants and Contracts Management
National Center for Research Resources
Westwood Building, Room 849
Bethesda, MD 20892-4500
Telephone: (301) 594-7955
AUTHORITY AND REGULATIONS
This program is described in the Catalog of Federal Domestic Assistance
No. 93.306, Laboratory Animal Sciences and Primate Research. Awards
will be made under the authority of the Public Health Service Act,
Title III, Section 301 (Public Law 78.410, as amended; 42 USC 241) and
administered under PHS grants policies and Federal Regulations 42 CFR
Part 52 and 45 CFR Part 74. This program is not subject to the
intergovernmental review requirements of Executive Order 12372 or
Health Systems Agency review.
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